Export Control Compliance at General Electric. Kevin J. Cuddy Export Controls Manager GE Global Gov t Affairs & Policy

Transcription

1 Export Control Compliance at General Electric Kevin J. Cuddy Export Controls Manager GE Global Gov t Affairs & Policy

2 GE Today GE is an advanced technology, services, and finance company taking on the world's toughest challenges. Dedicated to innovation in energy, health, transportation, and infrastructure, GE operates in more than 100 countries and employs about 300,000 people worldwide

3 General Electric Operating Units Energy Transportation Healthcare Aviation - Energy Services - Oil & Gas - Power & Water - Locomotives - Signaling & Communications - X-ray & Ultrasound Technologies - Molecular Imaging - Commercial, Marine, and Military Engines - Flight Management and Avionics Home & Business Solutions Capital Global Growth & Operations - Appliances & Lighting - Intelligent Platforms - Commercial Lending & Leasing - Consumer - Growth in Key Global Markets 3

4 GE s Export Control Compliance Program 4

5 International Control Regimes and National Export Control Laws Missile Technology Control Regime United National Resolutions Wassenaar WA Arrangement Nuclear Suppliers Group Australia Group Multilateral Export Control Regimes National Export Control Laws & Regulations GE Corporate Policy 5

6 GE International Trade Controls Compliance Policy Excerpts Follow relevant ITC regulations of all countries in which you operate and your business s own ITC procedures as they relate to importing, exporting and re-exporting goods, technology, software, services and financial transactions, including following licenses and authorizations obtained and retaining appropriate ITC records. Understand who is receiving controlled technical information to ensure you obtain any necessary authorization prior to discussing or transmitting documents. Carefully watch for warning signs or red flags of extraordinary requirements, improper customs clearance, illegal activities or any other violations of this or related GE policies.. Request guidance from your business s ITC personnel or company legal counsel if you are unsure whether your transaction requires authorization Check the export classification of the product, software, service or technology prior to export and re-export to determine whether any authorization is required. Follow your business process to ensure jurisdiction and classification are determined prior to export. Screen your transactions against all applicable rules that restrict transactions with certain sanctioned countries, persons and prohibited end uses, such as nuclear proliferation, chemical/biological weapons and ballistic missiles. 6

7 GE International Trade Compliance Structure GE CORPORATE Carol Fuchs Counsel, Intl Trade Regulation Kevin Cuddy Export Controls Manager GE CAPITAL ENERGY GLOBAL RESEARCH HOME & BUSINESS SOLUTIONS TECHNOLOGY INFRASTRUCTURE ENERGY MANAGEMENT Gwen Cole OIL & GAS Antonio Ciavatta WATER APPLIANCES & LIGHTING AVIATION DIGITAL ENERGY MEASUREMENT & CONTROLS NUCLEAR INTELLIGENT PLATFORMS HEALTHCARE TRANSPORTATION 7

8 How We Comply with Export Control Laws 8

9 The Four W s of Export Control Compliance WHAT is being exported? WHY is the customer ordering it? What is the end use? WHERE is it being exported? WHO will be receiving the export?

10 WHAT is being exported? Military or Defence Dual Use 10

11 To WHERE Is the Item Being Exported? Is the destination of the export a country of concern? Is an export license required? Is the destination country a strategic ally or an adherent to a multilateral export control regime? Is the destination of the export a country subject to unilateral or multilateral sanctions? Does the exporting country have its own export control laws and regulations? Compliance Challenges of New Export Control Regimes 11

12 To WHOM Is the Item Being Exported? Is this a customer that I have dealt with on many occasions in the past? Is the customer involved in any military or chemical, nuclear, or biological weapons proliferation activities? Has the customer been screened? Is there anything about the transaction that raises a red flag? It is very important to Know Your Customer. 12

13 WHY Is the Customer Purchasing This Item? What is the End-Use? Do I know that the customer will use the items for the purpose intended? Is there a risk that the customer will transfer the item to another person? Do I know if the item being exported will be used in a military application or for chemical, nuclear, or biological weapons proliferation? Preventing Unauthorized Diversion Is Key to Compliance. 13

14 Questions? Kevin J. Cuddy Export Controls Manager GE Global Gov t Affairs & Policy 1299 Pennsylvania Avenue, N.W. Suite 900W Washington, DC kevin.cuddy@ge.com 14